The Stockbrokers and Financial Advisers Association Core 1 Securities & Managed Investments Accreditation provides candidates with the specialist knowledge and skills necessary to provide financial product advice to retail clients in Securities and Managed Investments.

Learning outcomes

The Core 1 Securities & Managed Investments Accreditation focuses on the relevant market participants, product types, characteristics and applications. Attendees will walk away with a solid understanding of the following:

• Asset classes and their use in investment portfolios.
• Investment manager styles and the use of alternative investment strategies and benchmarks.
• Introduced to basic techniques for analyzing product performance and making investment and trading decisions in relation to product types.
• The benefits and risks associated with the different securities and managed investment products.
• The regulatory and taxation issues affecting the use of securities and managed investment products.

The Core 1 Securities & Managed Investments Accreditation will also introduce candidates to the skills requirements for retail client advisers under ASIC RG146 requirements. Candidates learn techniques for identifying and analysing client needs and objectives, developing a client risk profile, conducting relevant research and developing appropriate investment strategies to meet client’s needs using securities and managed investment products.

For experienced client advisers, this section of the Core 1 Securities & Managed Investments Accreditation provides a useful refresher in preparation for the Statement of Advice to be completed as part of the assessment.

Who should complete the accreditation?

The Core 1 Securities & Managed Investments Accreditation s aimed at individuals who are just starting out in the industry and are looking to become client advisers or financial advisers.

Assessment details

1x Assignment (80% pass mark)
1 x Online Exam (Closed Book, 60 questions, 2 hrs + 15 min reading time, 70% pass mark)

Suggested study hours

Allow up to 150 hours

How does the accreditation process work?
Accreditations are administered for us by Western Sydney University The College RTO (The College), a division of Western Sydney University.

• Candidate enrols online/registration is received
• Candidate receives Confirmation email from SAFAA acknowledging enrolment, and that WSU The College will send details the following Monday
• Candidate receives Welcome email from WSU The College on Monday PM with all accreditation information/materials
• Candidate completes and returns Exam Booking Form to book in their exam day/time. This must be done at least 2 days prior to exam
• WSU The College releases exam/closes exam at designated day/time
• The Candidate’s approved Supervisor supervises exam, and returns the Declaration by Exam Supervisor to WSU The College
• Candidate receives result (results are issued end of each day). Candidate receives Certificate (Certificates are issued end of each month, following receipt of Declaration by Exam Supervisor).

Is there any assumed pre-requisite knowledge?

There is no assumed knowledge for this accreditation.

Will participants receive any CPD points for completing the accreditation?

Yes.

20 Continuing Professional Development (CPD) hours may be claimed by candidates who have successfully completed this program. The 20 CPD hours may be allocated in the following FASEA CPD areas (note: only 20 hours may be claimed):
– Technical competence
– Regulatory compliance and consumer protection
– Professionalism and ethics
– General

Useful downloads

Enrolment form (to be completed and returned by candidates who are not enrolling online via this website)

Supervisor Guidelines

• Application to be an Online Supervisor (to be completed and returned by new Supervisors)
• Declaration by Online Exam Supervisor (to be completed and returned by Supervisors following supervision of a candidate’s online exam)

SAFAA/WSU The College Exam Booking Form (to be completed and returned by candidate at least 2 days prior to them sitting their online exam)

Summary of Assessment

Online Terms and Conditions